# Aegis Asset Management, Inc.

> Aegis Asset Management, Inc. is a state-registered investment advisory firm in Anaheim, CA, registered since 2019, reporting under $25 million in regulatory assets under management in its Form ADV filing dated June 23, 2026.

- CRD: 305008
- Filed as: AEGIS ASSET MANAGEMENT, INC.
- Registration: State-registered investment adviser (status as filed: APPROVED)
- Location: Anaheim, CA
- Filing period: October 2026
- Form ADV filing dated: June 23, 2026
- Public record (IAPD): https://adviserinfo.sec.gov/firm/summary/305008
- AdvisorCensus page: https://advisorcensus.com/firm/aegis-asset-management-inc-anaheim-ca-305008

## Quick answers

**How is Aegis Asset Management, Inc. compensated?**
On its Form ADV (Item 5.E, October 2026), Aegis Asset Management, Inc. reports these compensation arrangements: a percentage of assets under its management. The amounts are in Item 5 of its Form ADV Part 2A brochure.

**Where is Aegis Asset Management, Inc. located?**
Aegis Asset Management, Inc.'s principal office is in Anaheim, CA, according to its Form ADV.

**Is Aegis Asset Management, Inc. registered with the SEC or a state?**
Aegis Asset Management, Inc. is a state-registered investment advisory firm, registered since 2019. Status as filed: APPROVED. CRD 305008.

**How much does Aegis Asset Management, Inc. manage?**
Aegis Asset Management, Inc. reports $9,206,447 in regulatory assets under management in its Form ADV filing dated June 23, 2026 (100% discretionary).

**What types of clients does Aegis Asset Management, Inc. serve?**
By number of clients on Form ADV Item 5.D: pension and profit sharing plans (but not the plan participants or government pension plans) (4); individuals (other than high net worth individuals) (3); high net worth individuals (2).

**Does Aegis Asset Management, Inc. report any disciplinary disclosures?**
Reports 2 disclosure items on Form ADV Item 11: yes answers to 11.D(3) (another regulator's finding of causing a business's authorization to be denied, suspended, revoked, or restricted) and 11.D(5) (another regulator's denial, suspension, or revocation of a registration or license, bar, or restriction). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/305008

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management

### Regulatory assets under management (Item 5.F)
- Total: $9,206,447
- Discretionary: $9,206,447
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 3 | $1,546,301 |
| High net worth individuals | 2 | $1,795,859 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 4 | $4,140,153 |
| Corporations or other businesses not listed above | 1 | $1,724,134 |

### Advisory services (Item 5.G)
- Portfolio management for individuals and/or small businesses

### Firm details
- Registered since: 2019 (6 years)
- Employees: 3 total, 1 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: CA
- Disclosures (Item 11): Reports 2 disclosure items on Form ADV Item 11.

### Item 11 questions answered yes
- 11.D(3): Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was a cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted?
- 11.D(5): Has another federal regulator, a state regulator, or a foreign financial regulator ever denied, suspended, or revoked the registration or license of the firm or an advisory affiliate, prevented either by order from associating with an investment-related business, or restricted either one's activity?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. The detail of each yes answer is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/305008

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Aegis Asset Management, Inc. (CRD 305008): Form ADV filing data as of October 2026.